|
FILE #:
| File # assigned for the entity by the Division of Securities |
|
TYPE:
|
Registration type for the given entity |
|
BD BROKER DEALER
BDA BROKER DEALER AGENT
BDB BROKER DEALER BRANCH
CRD BROKER DEALER AGENT
IA INVESTMENT ADVISER
IAA INVESTMENT ADVISER AGENT
IAB INVESTMENT ADVISER BRANCH
ID ISSUER DEALER
IDA ISSUER DEALER AGENT
IDB ISSUER DEALER BRANCH |
|
FIRM NAME:
|
Name of the registered entity |
|
LAST/FIRST NAME: |
Legal name of registered individual (For agents) |
|
PRIMARY ADDRESS:
|
Address were licensee is physically located |
|
MAILING ADDRESS:
|
Mailing address for licensee |
BRANCH MANAGER/
FIRM CONTACT PERSON:
|
Branch manager or contact person at firm’s home office |
|
PHONE NUMBER: |
Phone number for licensee |
|
BRANCH #:
|
Division’s assigned branch # for a particular branch office |
|
OSJ:
|
Designates type of branch office (office of supervisory jurisdiction) and tells whether the manager is on site or not (Y/N) |
|
COUNTY:
|
County code for the entity’s home office |
|
DATE APPROVED:
|
Date the entity was approved to do business in this state |
|
AFFILIATION:
|
Entity’s primary regulatory authority. Affiliation codes are: |
|
NASD: National Association of Securities Dealers – member firm
SEC: Securities and Exchange Commission – federal covered adviser or non-NASD member dealer
FLA: Florida – investment adviser (state covered) or issuer/dealer |
